Dodd-Frank Disclosure Requirements
Some of the Disclosures below relate to the requirements under regulations promulgated by the CFTC and SEC under Dodd-Frank. The General Disclosure Statement and each of the Annexes (together, the “ISDA DF Disclosure”) contain standard form disclosures intended to relate primarily to the requirements promulgated by the CFTC and SEC. Persons that intend to use the ISDA DF Disclosure in connection with such or other regulatory requirements should consult legal counsel and risk personnel regarding the appropriateness of the ISDA DF Disclosure for them, their counterparties and their transactions. Each user should consider how any additional disclosure that it may choose to make will relate to the ISDA DF Disclosure.
Dodd-Frank Disclosure Documents – click here
The European Market Infrastructure Regulation (EMIR) Requirements
The Article 39(7) Disclosure Documents facilitate compliance with certain obligations under Article 39(7) of EMIR where clearing members are providing services that involve clearing derivatives through an EU CCP. The document has been made available to allow clearing members to use it in its current form; however, the document may be subject to change. See further EMIR documentation here.
Free Download
Click here to view/download PDF
Click here to view/download DocX
The Securities Financing Transactions Regulation (SFTR) Requirements
The SFTR Information Statement is a template disclosure document for use by market participants to inform their counterparties of the general risks and consequences that may be involved in consenting to a right of use of collateral provided under a security collateral arrangement or of concluding a title transfer collateral arrangement. Market participants can tailor the statement to suit their own specific circumstances. The document has been drawn up in response to the SFTR, which come into force from July 13, 2016 and will affect all existing and future title transfer and security collateral arrangements under a variety of financial agreements.
Free Download
Click here to view/download SFTR Information Statement DOC – published May 13, 2016
Previous versions and blacklines:
Click here to view/download SFTR Information Statement blackline PDF – blackline of version published May 13, 2016 against version published April 13, 2016
Click here to view/download SFTR Information Statement DOC – published April 13, 2016
SFTR Contact Details Database
Upon member request ISDA has coordinated and collated the contact details from various entities which can be used when a party is providing an SFTR Information Statement to a counterparty. In order to access this database please click on the link below.
SFTR Information Statement Contact Details Database – click here
Latest
ISDA AGM Studio: Jenny Cosco and Jason Granet
Jenny Cosco, global head of government relations and regulatory strategy at LSEG, and Jason Granet, chief investment officer at BNY, speak with Tara Kruse, ISDA’s global head of derivative products and infrastructure, about how firms can manage liquidity pressures during...
Updated OTC Derivatives Compliance Calendar
ISDA has updated its global calendar of compliance deadlines and regulatory dates for the over-the-counter (OTC) derivatives space.
Capital Models Benchmarking: A Framework for Counterparty Credit Risk Internal Models
When firms implement capital models in line with supervisory standards, a range of interpretative and implementation choices inevitably arise. These choices reflect differences in modeling approaches, data availability, system architecture and risk management practices, and can lead to variation in...
ISDA AGM Studio: Joana Schlenczek & Nate Wuerffel
Joana Schlenczek, ISDA board member and head of FI rates structuring and client solutions at Santander Corporate & Investment Banking, and Nate Wuerffel, global head of market structure and head of product, global collateral, at BNY, speak with Panayiotis Dionysopoulos,...